J K R & COMPANY, INC.7145 WOODLEY AVE, VAN NUYS, CA 91406J. ALDEN ASSOCIATES, INC.37 WEST AVE, SUITE 301, WAYNE, PA 19087Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087J. D. SEIBERT & COMPANY, INC.20 WEST 9TH STREET, CINCINNATI, OH 45202-2024J. STREICHER & CO. L.L.C.28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005J. WOOD CAPITAL ADVISORS LLC1820 CALISTOGA ROAD,
U. S. BOSTON CAPITAL CORPORATIONLINCOLN NORTH, LINCOLN, MA 01773Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773U.S. BANCORP ADVISORS, LLC800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203U.S. BANCORP INVESTMENTS, INC.60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107U.S. BROKERAGE, INC.17 E KOSSUTH ST,
For the period of 1/1/2025 through 1/31/2025AAIA SECURITIES LAIA SECURITIES LLCIRVINE, CA, UNITED STATESRESIGNEDANNEXUS SECURITIANNEXUS SECURITIES, LLCNAME CHANGED TO: INTEGRITY CAPITAL, LLCANNEXUS SECURITIINTEGRITY CAPITAL, LLCNEW NAME OF: ANNEXUS SECURITIES, LLCAQUILA DISTRIBUTAQUILA DISTRIBUTORS LLCNEW YORK, NY, UNITED STATESRESIGNEDARTA FINANCE SECARTA FINANCE SECURITIES LLC153 CASTRO STREET
For the period of 2/1/2025 through 2/28/2025AACANTHUS U.S. LIACANTHUS U.S. LIMITED10-12 BLANDFORD STREET, LONDON W1U 4AZ UNITED KINGDOMADMITTEDAIRLINK MARKETS,AIRLINK MARKETS, LLCISSAQUAH, WA, UNITED STATESEXPELLED PER RULE 9552 - FAILED TO FILE ITS QUARTERLY FOCUS REPORTALLEGHENY INVESTALLEGHENY INVESTMENTS, LTD.PITTSBURGH, PA, UNITED STATESRESIGNEDALMAX FINANCIALALMAX FINANCIAL
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
The following are former funding portal members of FINRA.Amplify Funding, LLCSEC File No.: 7-222330 E Liberty StAnn Arbor, MI 48104Avonto, LLCSEC File No.: 7-802435 E. North Street, Ste. 1108-178Greenville, SC 29615Bananafina LLC.SEC File No.: 7-2351065 NE 125th Street, Suite 300North Miami, FL 33161BaseNote LLCSEC File No.: 7-315340 S Lemon Avenue, #9290Walnut, CA 91789Bioverge Portal, LLCSEC
X-CHANGE FINANCIAL ACCESS, LLC222 W ADAMS STREET SUITE 450, CHICAGO, IL 60606XLII FINANCIAL SERVICES LLC10023 APPLE CREEK DRIVE, DALLAS, TX 75243XML SECURITIES6901 ROCKLEDGE DRIVE, SUITE 730, BETHESDA, MD 20817XMS CAPITAL PARTNERS, LLC321 N CLARK STREET, SUITE 2440, CHICAGO, IL 60654XNERGY FINANCIAL LLC1801 CENTURY PARK EAST, 25TH FLOOR, LOS ANGELES, CA 90067XP INVESTMENTS US, LLC55 WEST 46TH
Q ADVISORS LLC999 18TH STREET, SUITE 2015, DENVER, CO 80202QATALYST PARTNERS LP3 EMBARCADERO CENTER, SUITE 1500, SAN FRANCISCO, CA 94111QUADRIGA SECURITIES, LLC44 COOK STREET, SUITE 255, DENVER, CO 80206QUANTITATIVE BROKERS, LLC285 MADISON AVENUE, SUITE 1700, NEW YORK, NY 10017QUANTLAB BROKERAGE, LLC3 GREENWAY PLAZA, SUITE 200, HOUSTON, TX 77046QUANTRIVER FINANCIAL, LLC6430 PLANTATION PARK COURT
A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
On October 23, 2023, FINRA announced the Small Firm Advisory Committee (SFAC) election for the Midwest and South Regions. Small firms in these regions will receive ballots via email from [email protected] to vote in this election (hard copy ballots will also be mailed to these firms). Voting concludes on November 22, 2023, and the newly elected SFAC members will take office in January
